Case Study: Girard Securities achieves streamlined blotter submissions and faster compliance with Laserfiche

How Girard Securities Improved Broker-Dealer Technology for Field Advisors

Girard Securities, a full-service broker-dealer supporting 325 licensed financial advisors, faced a cumbersome, paper-based back-office process that led to misplaced documents, slow reviews and hard-to-track monthly blotter submissions—creating frustration for both home office staff and field advisors and exposing the firm to compliance risk.

After a cross-department whiteboarding session, Girard implemented Laserfiche e-forms and automated workflows to digitize onboarding, blotters, approvals and other processes. Automated reminders, electronic tracking and on-demand reporting improved visibility and regulator responsiveness, made blotter submission simple for reps, and saved the back office the equivalent of three people one full workday per month.

Girard Securities

John Barragan

COO